证券代码：600369 证券简称：西南证券 公告编号：临 2024-034 西南证券股份有限公司 续聘会计师事务所公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈 述或者重大遗漏，并对其内容的真实性、准确性和完整性承担法律责任。 重要内容提示： 拟聘任的会计师事务所名称：天健会计师事务所（特殊普通合伙）（以下 简称天健） 一、拟聘任会计师事务所的基本情况 1.基本信息 | 事务所名称 | | 天健会计师事务所（特殊普通合伙） | | | | | | | | --- | --- | --- | --- | --- | --- | --- | --- | --- | | 成立日期 | | 年 月 组织形式 2011 18 | 7 | 日 | | 特殊普通合伙 | | | | 注册地址 | | 浙江省杭州市西湖区西溪路 号 6 楼 | | | 128 | | | | | 首席合伙人 | | 王国海 上年末合伙人数量 | | | | | 243 | 人 | | 上年末执业 | | 注册会计师 | | | | | 2,476 | 人 | | 人员数量 | | 签署过证券服务业务审计报告的注册会计师 ...

证券代码：600369 证券简称：西南证券 | --- | --- | --- | |----------|--------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- ...

证券代码：600369 证券简称：西南证券 公告编号：临 2024-032 西南证券股份有限公司 2024 年半年度利润分配方案公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈 述或者重大遗漏，并对其内容的真实性、准确性和完整性承担法律责任。 重要内容提示： 每股分配比例：每股派发现金红利 0.01 元（含税）。 本次利润分配以实施权益分派股权登记日登记的总股本为基数，具体日期 将在权益分派实施公告中明确。 在实施权益分派的股权登记日前公司总股本发生变动的，拟维持分配总额 不变，相应调整每股分配金额，并将在相关公告中披露。 一、利润分配方案内容 截至2024年6月30日，西南证券股份有限公司（以下简称公司）母公司可供 股东分配的利润2,704,567,734.96元（以上财务数据均未经审计）。经董事会决议， 公司2024年半年度拟以实施权益分派股权登记日登记的总股本为基数分配利润。 本次利润分配方案如下： 公司拟向全体股东每10股派发现金红利0.1元（含税）。截至2024年6月30日， 公司总股本6,645,109,124股，以此计算合计拟派发现金红利66,451,091.24元（含 税 ...

证券代码：600369 证券简称：西南证券 公告编号：临 2024-031 表决结果：[ 3 ]票同意，[ 0 ]票反对，[ 0 ]票弃权，审议通过本议案。 本议案尚需提交公司股东大会审议。 三、关于公司2024年半年度风险评估报告的议案 西南证券股份有限公司 第十届监事会第五次会议决议公告 本公司监事会及全体监事保证本公告内容不存在任何虚假记载、误导性陈述 或者重大遗漏，并对其内容的真实性、准确性和完整性承担个别及连带责任。 西南证券股份有限公司（以下简称公司）第十届监事会第五次会议于2024 年8月20日以电子邮件方式发出会议通知和相关材料，于2024年8月27日发出补充 通知，于2024年8月30日在公司总部大楼以现场方式召开。本次会议应出席监事3 人，实际出席监事3人，均出席现场会议。本次会议由倪月敏监事会主席主持， 会议的召集、召开及表决程序符合《中华人民共和国公司法》《公司章程》等有 关规定。 本次会议以记名投票方式审议并通过以下议案： 一、关于公司2024年半年度报告的议案 表决结果：[ 3 ]票同意，[ 0 ]票反对，[ 0 ]票弃权，审议通过本议案。 二、关于公司2024年度中期利润分配预案 ...

西南证券股份有限公司（以下简称公司）第十届董事会第八次会议于 2024 年 8 月 20 日以电子邮件方式发出会议通知和相关材料，于 2024 年 8 月 23 日和 8 月 27 日发出补充通知和相关材料，于 2024 年 8 月 30 日在公司总部大楼以现 场和视频方式召开。本次会议应出席董事 8 人，实际出席董事 8 人，其中杨雨松 董事、李军董事、张敏董事出席现场会议，谭鹏董事、江峡董事、黄琳独立董事、 徐秉晖独立董事和付宏恩独立董事以视频方式出席会议。公司全体监事和高级管 理人员列席本次会议。本次会议由杨雨松董事、总经理主持，会议的召集、召开 及表决程序符合《中华人民共和国公司法》《公司章程》等有关规定。 本次会议以记名投票方式审议以下议案： 证券代码：600369 证券简称：西南证券 公告编号：临 2024-030 西南证券股份有限公司 第十届董事会第八次会议决议公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈 述或者重大遗漏，并对其内容的真实性、准确性和完整性承担法律责任。 同意聘任张序先生为公司副总经理（简历附后），任期自本次董事会审议通 过之日起至本届董事会届满之日止。 ...

西南证券股份有限公司 独立董事专门会议工作细则 第一章 总则 第四条 下列事项应当经公司独立董事专门会议审议，并经全体独立董事 过半数同意后，提交董事会审议： （一）应当披露的关联交易； （二）公司及相关方变更或者豁免承诺的方案； （三）公司被收购时，公司董事会针对收购所作出的决策及采取的措施； 第一条 为进一步完善西南证券股份有限公司（以下简称公司）法人治理结 构，充分发挥独立董事在公司治理中的作用，保障独立董事专门会议规范运作， 提高独立董事专门会议的工作效率和决策水平，根据《中华人民共和国公司法》 《中华人民共和国证券法》《上市公司独立董事管理办法》《上海证券交易所股票 上市规则》《上海证券交易所上市公司自律监管指引第 1 号——规范运作》等法 律法规、部门规章、规范性文件以及《西南证券股份有限公司章程》（以下简称 《公司章程》）《西南证券股份有限公司独立董事工作细则》等规定，结合公司实 际情况，制定本细则。 第二条 公司独立董事是指不在公司担任除董事外的其他职务，并与公司 及公司主要股东、实际控制人不存在直接或者间接利害关系，或者其他可能影响 其进行独立客观判断关系的董事。 （四）法律、行政法规、中国 ...

西南证券股份有限公司 2024 年度"提质增效重回报"行动方案 为深入贯彻党的二十大、二十届三中全会和中央金融工作会议精神，积极落 实《国务院关于加强监管防范风险推动资本高质量发展的若干意见》（以下简称 新"国九条"）与配套文件以及中国证监会《关于加强证券公司和公募基金监管加 快推进建设一流投资银行和投资机构的意见（试行）》的指导精神，不断提高公 司发展质量，持续增强投资者合理回报，全面保护投资者合法权益，有效提升资 本市场内在稳定性，助推资本市场健康发展，特制定本方案。 一、践行金融报国，把功能性放在首要位置 公司始终坚守金融工作的政治性、人民性，坚持金融为民，把功能性放在首 要位置，努力将资本市场的功能守正务实地落实到服务实体经济和重大战略中。 持续聚焦主责主业，当好直接融资的"服务商"、资本市场的"看门人"和社会财富 的"管理者"，以扎实的专业能力为经济社会发展大局服务。积极将金融资源用于 科技创新、先进制造、绿色转型和中小微企业发展，做好科技金融、绿色金融、 普惠金融、养老金融、数字金融等五篇大文章，为社会创造价值。 2024 年，公司将坚持以一域服务全局，持续融入服务国家发展战略，不断 加大对新时代 ...

2024 年 8 月 31 日 1 根据《公司法》《公司章程》等规定，吴坚先生的辞职未导致公司董事会成 员低于法定最低人数，不会影响公司董事会的正常运作。吴坚先生的辞职自其辞 职报告送达公司董事会之日起生效。 公司董事会对吴坚先生任职期间为公司发展所做出的贡献表示衷心感谢！ 特此公告。 西南证券股份有限公司董事会 证券代码：600369 证券简称：西南证券 公告编号：临 2024-029 西南证券股份有限公司 关于董事长辞职的公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈 述或者重大遗漏，并对其内容的真实性、准确性和完整性承担个别及连带责任。 西南证券股份有限公司（以下简称公司）董事会于近日收到吴坚先生的书面 辞职报告，因到龄退休，吴坚先生提出辞去公司第十届董事会董事长、战略与 ESG 委员会主任委员、董事职务，辞职后不再担任公司任何职务。 ...

Dividend Distribution - The company plans to distribute a cash dividend of RMB 0.1 per 10 shares, totaling RMB 66,451,091.24, based on the total share capital of 6,645,109,124 shares as of June 30, 2024[3] - The company's interim profit distribution plan is subject to approval at the shareholders' meeting[3] - The company's cash dividend distribution plan is based on the 2023 year-end distributable profits and the 2024 interim operating results[3] - The company's 2024 interim profit distribution plan proposes a cash dividend of 0.1 yuan per 10 shares, totaling 66,451,091.24 yuan, based on the total share capital of 6,645,109,124 shares as of June 30, 2024[89] Capital and Share Structure - The company's net capital increased to RMB 16,847,079,655.93 as of the end of the reporting period, up from RMB 15,612,760,932.11 at the end of the previous year[11] - The company's registered capital remained unchanged at RMB 6,645,109,124.00 compared to the previous year[11] - The company's total share capital is 6,645,109,124 shares, with no change from the previous year[3] - The company's net capital growth rate was approximately 7.9% compared to the previous year[11] - The company's net capital increased by RMB 1,234,318,723.82 compared to the previous year[11] - The company's registered capital is RMB 6,645,109,124.00, with a total of 6,645,109,124 shares (par value of RMB 1 per share), including 330,000,000 restricted shares and 6,315,109,124 unrestricted tradable shares (A shares)[145] Business Qualifications and Memberships - The company holds 45 different business qualifications, including securities brokerage, underwriting, asset management, and investment advisory, among others[12][13][14] - The company has membership qualifications in multiple exchanges and associations, including the Shanghai Stock Exchange, Shenzhen Stock Exchange, and China Securities Association[14] Financial Performance - Revenue for the first half of 2024 decreased by 19.09% year-on-year to RMB 1,191,096,619.07[20] - Net profit attributable to the parent company's shareholders decreased by 26.33% year-on-year to RMB 340,267,640.14[20] - Net cash flow from operating activities increased significantly by 803.02% year-on-year to RMB 3,054,333,687.23[20] - Total assets decreased by 6.00% compared to the end of the previous year, amounting to RMB 79,593,457,090.85[20] - Basic earnings per share (EPS) decreased by 28.57% year-on-year to RMB 0.05[21] - Net capital increased to RMB 16,847,079,655.93, up from RMB 15,612,760,932.11 at the end of the previous year[22] - The liquidity coverage ratio (LCR) stood at 304.55%, down from 345.24% at the end of the previous year[22] - Derivative financial assets increased by 196.50% to RMB 361,686,679.10[24] - Investment property increased by 112.24% to RMB 112,706,356.64[24] - Short-term financing liabilities decreased by 53.95% to RMB 4,524,679,613.07[24] - Total operating income decreased by 19.09% to 1,191,096,619.07 yuan in the first half of 2024 compared to the same period in 2023[25] - Net interest income increased by 10.28% to 176,508,889.91 yuan in the first half of 2024[25] - Net profit decreased by 26.95% to 336,492,816.75 yuan in the first half of 2024[25] - Fair value change income surged by 130.83% to 302,145,115.37 yuan in the first half of 2024[25] - Total operating expenses decreased by 10.29% to 868,024,710.57 yuan in the first half of 2024[25] - Derivative financial assets increased by 196.50% to 361,686,679.10 yuan as of June 30, 2024[26] - Net profit increased by 53.89% to 551,615,825.80 yuan in the first half of 2024[27] - Fair value change income increased by 156.32% to 320,662,563.09 yuan in the first half of 2024[27] - Total operating income increased by 8.09% to 1,337,392,541.05 yuan in the first half of 2024[27] - Deferred tax liabilities increased by 86.30% to 170,232,308.32 yuan as of June 30, 2024[27] - Revenue for the reporting period was RMB 1.191 billion, a decrease of 19.09% year-on-year[36] - Net profit was RMB 336 million, a decrease of 26.95% year-on-year[36] - Net profit attributable to the parent company's shareholders was RMB 340 million, a decrease of 26.33% year-on-year[36] - Total assets as of June 30, 2024, were RMB 79.593 billion[36] - Net assets were RMB 25.529 billion, and parent company's net capital was RMB 16.847 billion[36] - Weighted average return on equity was 1.33%, and earnings per share were RMB 0.05[36] - Derivative financial assets increased to RMB 361.69 million from RMB 121.99 million, driven by changes in the scale and fair value of derivatives[28] - Other equity instrument investments rose to RMB 960.84 million from RMB 689.29 million, reflecting an increase in the scale of such investments[28] - Short-term financing liabilities decreased to RMB 4.525 billion from RMB 9.826 billion, indicating a reduction in short-term financing scale[28] - Fair value change gains increased to RMB 302.15 million from RMB 130.89 million, primarily due to gains from derivative financial instruments[28] - The company's securities brokerage business saw a 2.51% year-on-year increase in total clients, reaching 1.7255 million by June 30, 2024[37] - The company's securities brokerage business achieved a 48.81% year-on-year increase in the daily average balance of centralized sales of financial products, amounting to 5.614 billion yuan[37] - The company's investment banking business completed 121 equity projects in the first half of 2024, a 70.05% year-on-year decrease, with total funds raised amounting to 135.385 billion yuan, down 78.28% year-on-year[38] - The company's asset management business managed a total of 44 asset management plans by the end of June 2024, with a total management scale of 12.709 billion yuan[40] - The company's asset management business saw a nearly 40% increase in fixed-income management scale compared to the beginning of the year[41] - The company's proprietary trading business achieved stable investment returns through diversified asset allocation and macro timing strategies[42] - The company's proprietary trading business focused on fixed-income investments, with the 10-year Treasury yield dropping to a low of 2.23% in the second quarter of 2024[42] - The company's subsidiary, Xizheng Equity, focused on improving internal management efficiency and advancing digital transformation in the first half of 2024[43] - Xizheng Innovation's existing investment scale reached 2.168 billion yuan[44] - Southwest Futures achieved a business scale of 1.75 billion yuan, a year-on-year increase of 94%[44] - Xizheng International Investment signed an agreement to transfer shares of Xizheng International Securities for 89,662,745 HKD[44] - The company issued structured note products worth 1.35 billion yuan to customers in the first half of the year[45] - The company's off-exchange options business reached 140 million yuan, with 136 professional institutional investors signing SAC agreements[45] - The company's revenue decreased by 281 million yuan year-on-year, mainly due to reduced investment income and net commission income[47] - Operating cash flow increased by 2.716 billion yuan year-on-year, mainly due to net inflows from financial assets held for trading purposes[47] - Investment cash flow increased by 1.453 billion yuan year-on-year, mainly due to increased cash received from investment recoveries[48] - Financing cash flow decreased by 6.62 billion yuan year-on-year, mainly due to reduced cash received from bond issuance[48] - Total assets at the end of the reporting period were 79.593 billion yuan, a decrease of 6.00% compared to the end of the previous year[50] - Monetary funds and settlement reserves totaled 16.868 billion yuan, accounting for 21.19% of total assets, a decrease of 14.15% compared to the end of the previous year[50] - Trading financial assets, other debt investments, and other equity instrument investments totaled 42.738 billion yuan, accounting for 53.69% of total assets, a decrease of 3.54% compared to the end of the previous year[50] - Total liabilities at the end of the reporting period were 54.065 billion yuan, a decrease of 8.79% compared to the end of the previous year[51] - Short-term financing payables and bonds payable totaled 12.74 billion yuan, accounting for 23.56% of total liabilities, a decrease of 31.44% compared to the end of the previous year[51] - Securities repurchase liabilities were 20.407 billion yuan, accounting for 37.75% of total liabilities, a decrease of 10.39% compared to the end of the previous year[51] - Client trading settlement funds were 13.238 billion yuan, accounting for 24.49% of total liabilities, an increase of 10.49% compared to the end of the previous year[51] - Long-term equity investments were 2.608 billion yuan, accounting for 3.28% of total assets, a decrease of 0.85% compared to the end of the previous year[50] - Overseas assets were 100.088 million yuan, accounting for 0.13% of total assets[51] - Xizheng Equity Investment Co., Ltd. achieved a net profit of 5.0218 million yuan during the reporting period[54] - Xizheng International Investment's total assets as of June 30, 2024, were HKD 109.34 million, with a net loss of HKD 12.98 million for the reporting period[58] - Xizheng International Securities, a subsidiary of Xizheng International Investment, reported a net loss of HKD 16.05 million and negative net assets of HKD 53.12 million as of June 30, 2024[58] - Yinhua Fund Management Co., Ltd., an associate of the company, achieved a net profit of RMB 253.74 million on total revenue of RMB 1.34 billion for the reporting period ending June 30, 2024[59] - The company controls multiple structured entities, including asset management plans and investment funds, which are consolidated in its financial statements[60][61] - The company's liquidity coverage ratio (LCR) and net stable funding ratio (NSFR) as of June 30, 2024, were 304.55% and 186.79%, respectively, both meeting regulatory requirements[69] - Total liabilities as of the end of the reporting period amounted to RMB 52,567,223,602.88, with unamortized contract amounts reaching RMB 53,080,359,319.57[70] - Short-term financing payables stood at RMB 4,524,679,613.07, with unamortized contract amounts of RMB 4,574,521,431.79[70] - The company's repurchase financial assets payable reached RMB 20,406,855,873.10, with unamortized contract amounts of RMB 20,411,665,396.91[70] - Bonds payable amounted to RMB 8,215,150,518.77, with unamortized contract amounts of RMB 8,652,700,000.00[70] - A 100 basis point increase in interest rates would result in a decrease in total profit of RMB 220,274,554.30 and a decrease in shareholders' equity of RMB 320,765,780.25[73] - The overall portfolio's risk value (VaR) at a 99% confidence interval was RMB 81,618,100, with a maximum of RMB 116,401,000 and a minimum of RMB 67,722,500 during the period[74] - The margin financing and securities lending business maintained an overall guarantee ratio of 340.71%, while the stock pledge repurchase business had an overall performance guarantee ratio of 227.51%[76] - The company's self-operated bond investments primarily consisted of interest rate bonds and high-grade credit bonds, with a combined holding ratio of 87.86%[76] - Operational risks are effectively controlled with no major operational risk incidents reported during the reporting period[77] - Reputation risks are managed through a comprehensive mechanism, with no major reputation risk incidents reported as of June 30, 2024[79] - Money laundering risks are under control, with no money laundering incidents reported during the reporting period[80] - IT systems remain stable and secure, with no major IT risk incidents reported[81] - Compliance risks are effectively managed, with no major compliance risk incidents reported[83] - Risk control indicators, including net capital and liquidity, consistently meet regulatory requirements[84] - The company has established a dynamic monitoring and capital replenishment mechanism for risk control indicators[84] - The company has strengthened network-related reputation risk management and established a dedicated team for handling such risks[79] - The company has enhanced its IT infrastructure, including disaster recovery systems and cybersecurity measures[81] - The company has implemented a four-tier compliance management system to ensure adherence to legal and regulatory requirements[83] - The company donated 10 million yuan to support rural revitalization in Youyang Tujia and Miao Autonomous County, Chongqing, and completed various infrastructure projects including 30 kilometers of hardened roads and 2 new communication signal base stations[92] - The company appointed Wang Wei as Vice President effective January 19, 2024, and Zhang Li as Vice President effective July 2, 2024, while Zhang Hongwei and Hou Ximeng resigned from their positions as senior executives[88][89] - The company actively implemented energy-saving measures, including smart lighting, energy-efficient office equipment, and low-carbon office practices, to reduce carbon emissions[91] - The company supported rural development by establishing collective agricultural bases covering over 5,000 acres, including pomelo, red-leaf plum, tea oil, and medicinal herbs, and assisted in livestock farming with over 50 cattle and 300 pigs[92] - The company has recovered approximately 28.94 million yuan from the execution phase of the asset management plan's stock pledge repurchase dispute case[98] - The company is involved in a bond default dispute case with a total claim of approximately 546 million yuan in principal and interest[99] - The company's actual controller, Chongqing Yufu Holding Group, has committed to maintaining the company's business independence and avoiding major adjustments to its main business[94] - Chongqing Yufu Holding Group has pledged to reduce and regulate related-party transactions, ensuring no significant changes in the company's assets or business structure[94] - The company has no significant litigation or arbitration cases exceeding 10 million yuan during the reporting period[96] - The company's asset management plans are involved in multiple bond default disputes, with judgments totaling over 546 million yuan in claims[99] - The company has no non-operational fund occupation by controlling shareholders or related parties during the reporting period[95] - The company has no bankruptcy restructuring matters or significant litigation or arbitration cases exceeding 10 million yuan[96] - The company's asset management plan has successfully reclaimed approximately 28.94 million yuan from the execution phase of a stock pledge repurchase dispute[98] - The company's asset management plans are actively pursuing claims in bond default cases, with judgments totaling over 546 million yuan[99] - The company reached a partial settlement with Xinyuan Asset Management, reducing the claimed amount from 231,283,231.24 yuan to 22,037,671.22 yuan[100] - The company completed debt declarations for Chongqing Zhengyuan Yifeng Real Estate Co., Ltd. and Chongqing Zhengyuan Real Estate Development Co., Ltd., which entered bankruptcy liquidation in December 2023[100] - The company received 205,000 yuan from Shanghai Shengming Real Estate Development Co., Ltd. as part of the debt repayment[102] - The company was issued a warning by the Chongqing Securities Regulatory Bureau for employing unqualified staff in fund-related roles and insufficient independence of compliance management[102] - The company implemented a 2023 annual profit distribution, distributing a cash dividend of 0.035 yuan per share, totaling 232,578,819.34 yuan[107] - The company sold its entire stake in Xizheng International Securities (74.10% ownership) for 89,662,745 HKD[107] - The company provided a $200 million guarantee for a $178 million bond issued by Xizheng International Securities, which was fully repaid in February 2024[106] - The company completed debt declarations for Shensheng Hongye Investment (Group) Co., Ltd., which entered bankruptcy liquidation[102] - The total number of ordinary shareholders at the end of the reporting period is 125,623[110] - Chongqing Yufu Capital Operation Group Co., Ltd. holds 27.89% of the shares, totaling 330,000,000 shares[112] - Chongqing Urban Construction Investment (Group) Co., Ltd. holds 10.37% of the shares, with 240,000,000 shares pledged[112] - Chongqing Jiangbeizui Central Business District Investment Group Co., Ltd. holds 6.03% of the shares[112] - China Jianyin Investment Co., Ltd. holds 4.94% of the shares[112] - Chongqing Expressway Group Co., Ltd. holds 4.14% of the shares, with an increase of 304,300 shares during the reporting period[112

证券代码：600369 证券简称：西南证券 公告编号：临 2024-026 西南证券股份有限公司 2024 年第二次临时股东大会决议公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈 述或者重大遗漏，并对其内容的真实性、准确性和完整性承担法律责任。 重要内容提示： 本次会议是否有否决议案：无 一、会议召开和出席情况 （一）股东大会召开的时间：2024 年 7 月 8 日 （二）股东大会召开的地点：西南证券总部大楼 402 会议室（重庆市江北区 金沙门路 32 号） （三）出席会议的普通股股东和恢复表决权的优先股股东及其持有股份情况： | 1.出席会议的股东和代理人人数 | 16 | | --- | --- | | 2.出席会议的股东所持有表决权的股份总数（股） | 3,591,881,829 | | 3.出席会议的股东所持有表决权股份数占公司有表决权股 | 54.0530 | | 份总数的比例（%） | | （四）表决方式是否符合《公司法》及《公司章程》的规定，大会主持情况 等。 （五）公司董事、监事和董事会秘书的出席情况 1.公司在任董事 9 人，出席 9 人； 2.公司在任监事 3 人 ...